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6. Appendix 6: Wave 1 Funder Questionnaire

Survey of 1996 and 1997 Research and DevelopmentFunding and Performance by Nonprofit Organizations

National Science Foundation

Nonprofit organizations play a key role in research in the medical and health related sciences, natural and socialsciences, and engineering. The National Science Foundation is asking for your help in understanding the activitiesof the nonprofit sector by completing this questionnaire on science and engineering research and developmentactivities funded by nonprofit organizations like yours.

For this survey we are asking you to respond to two items on the types of institutions which your organization fundsand the amounts of funding your organization gives to each type of organization. One item asking for your websiteaddress on the World Wide Web is included as well as a final item requesting your feedback about this survey.This information is solicited under the authority of the National Science Foundation Act of 1950, as amended. Yourresponse is entirely voluntary and your failure to provide some or all of the information will in no way adverselyaffect your organization.

The president or director of your organization named the individual on the label below to coordinate data collectionfor this survey. Please correct any incorrect information on the label.

Organization Identification #Contact Name

Name of OrganizationAddress of Organization

Phone numberE-mail address

If someone other than the person listed above coordinates the data collection, please tell us whom we may call if wehave questions about the data.

Name Title Phone

Completing this survey requires an average of x hours. If you wish to comment on this burden, please contact GailMcHenry, Reports Clearance Officer, NSF, at 703-306-1125 ext. 2010. Please return the completed survey by (date) to: The Gallup Organization

Attn: Jennifer SpielvogelOne Church St., #900Rockville, MD 20850

If you have any questions or comments about the survey, contact Mary V. Burke at NSF at703-306-1772 ext. 6933 (mvburke@nsf.gov) or Jennifer Spielvogel of The Gallup Organization at1-800-288-9439 (jspielvogel@gallup.com).

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General Instructions

Please read the detailed instructions for each item before completing the table for that item.

• Please report for the entire organization including any branches, divisions and departmentsthat are not separately incorporated.

• The survey covers your fiscal years ending in 1996 and 1997.

• Where exact data are not available, please give the best estimate you can.

• Enter “0” as an item total rather than leave an item blank.

• If you have any questions, contact Mary V. Burke at NSF (703-306-1772 ext. 6933) orJennifer Spielvogel of The Gallup Organization (1-800-288-9439).

About this survey

1. How to use the TIPS

Within each item in this survey, along with instructions for completing the item, you willfind TIPS containing additional information to help you complete the item correctly. TheTIPS also contain definitions of terms that appear in the item. Terms appearing inboldface type in the instructions are defined in the TIPS on that page.

2. Definition of research and development

Research is systematic study directed toward fuller knowledge or understanding of thesubject studied. Research is classified as either basic or applied, according to theobjectives of the investigator.

Development is systematic use of the knowledge or understanding gained from research,directed toward the production of useful materials, devices, systems, or methods,including design and development of prototypes and processes.

Research and development includes the development and use of scientific knowledgethrough fundamental research in the laboratory, in the field or through experiments;clinical investigations; clinical trials; epidemiological, engineering, and demographicstudies; and controlled pilot projects. Included in this definition is the preparation forpublication of books and papers describing the results of the specific research anddevelopment, if carried out as an integral part of that research and development. Alsoincluded is the administration of research and development. Traineeships, if they aremainly directed to R&D, also are included.

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3. Science and Engineering

For this survey, science and engineering (S&E) includes:

• Medical or Health Related Sciences including Biochemistry, Genetics,Physiology, Cell Biology/Molecular Biology, Pharmacology/Toxicology,Epidemiology, Health Care Sciences and Services, Reproduction, Growth andDevelopment, Oncology/ Pathology/Hematology, Immunology,Microbiology/Virology, Biomedical Engineering and Instrumentation,Neuroscience, Clinical Medicine, and other medical or health sciences.

• Natural and Social Sciences including Agricultural Sciences, BiologicalSciences (non-medical), Computer Sciences, Environmental Sciences,Mathematical Sciences, Physical Sciences, Psychology, and Social Sciences.

• Engineering, including Aeronautical and Astronautical, Chemical, Civil,Electrical, Mechanical, Metallurgical and Materials, and other engineering fields.

Science and engineering do not include law, business administration/managementscience, humanities, history (except research in history and philosophy of science andtechnology), the arts, or education (except educational psychology).

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Item 1. Your Organization To complete Item 1, please check the box of the one category which most closely described your organization in1996. If you have any difficulty categorizing your organization, or if your organization conducts science andengineering research and development intramurally (in-house), please call Dr. Jennifer Spielvogel at 1-800-288-9439.

Check One Box

Independent Foundation A grantmaking organization usually classified by the IRS as a private foundation. Independentfoundations may also be known as general purpose foundations, special purpose foundations, orprivate non-operating foundations.

�

Corporate Foundation A private foundation whose funds for grants are derived primarily from the contributions of aprofit-making business organization. The Corporate foundation may maintain close ties withthe donor company, but it is an independent organization, often with its own endowment. (Thecorporate foundation is distinct from the corporate giving program.)

�

Family Foundation An independent private foundation whose funds are derived from members of a single family.

�

Community foundation A 501(c)(3) organization that makes grants for charitable purposes in a specific community orregion. Funds are usually derived from many donors and held in an endowment independentlyadministered; income earned by the endowment is then used to make grants.

�

Public Charity In general, an organization that is tax-exempt under code section 501(c)(3) and is classified bythe IRS as a public charity and not a private foundation. Public charities generally derive theirfunding or support primarily from the general public in carrying out their social, educational,religious, or other charitable activities serving the common welfare.

�

Operating foundationOperating foundations are private foundations whose primary purpose is to conduct research,social welfare, or other programs determined by its governing body or establishment charter.Some grants may be made, but the sum is generally small relative to the funds used for thefoundation’s own programs.

�

Professional or technical society, or academy of scienceand/or engineering Professional societies are voluntary associations of individuals sharing a common interest in theadvancement of knowledge, either within a single field or across a broad spectrum ofdisciplines. The major function of these organizations is to aid and encourage the collection,collation, and dissemination of scientific and engineering knowledge for the benefit of theirmembers and the scientific and engineering community as a whole.

�

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Science exhibitor Science exhibitors are nonprofit organizations which have as their primary goal the expansionof scientific and technological literacy within their community by providing exhibits thatdisplay and interpret the latest scientific findings and technological advances within their fieldor fields. Included in this category are museums, zoological parks, botanical gardens, andarboreta.

�

Trade association Trade associations are nonprofit, cooperative, voluntarily-joined organizations of businesscompetitors designed to assist their members and their industry in dealing with mutual businessproblems in several of the following areas: accounting practice, business ethics, commercialand industrial research, standardization, statistics, trade promotion, and relations withGovernment, employees, and the general public.

�

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Item 2. Amount of Science and Engineering Researchand Development Funded

Item 2 asks how much science and engineering research and development your organization funded in1996 and 1997, and what kinds of institutions your organization funded.

To complete Item 2, you should:

¶ In the spaces marked, fill in the months in which your fiscal years began and ended.

· Review the definitions of types of institutions listed below.

¸ Fill in how much funding your organization provided to each of these types of institutions in FY1996 (Column 1).

¹ Fill in what part of that was medical or health related (Column 2).

º Fill in the corresponding figures for FY 1997 (Columns 3 and 4).

TIPS

• In item 2 include grants and contracts for science and engineering research and development, andR&D-related fellowships and postdoctoral funding included in the budgets of those grants andcontracts. Include S&E R&D endowments in the year they are awarded.

Exclude contributions to general purpose funds, and general purpose or undesignated endowments,scholarships, fellowships or postdoctoral funding.

Exclude costs for buildings, fixtures or other depreciable equipment used in S&E R&D. (Theseitems are to be reported in Item @A, S&E R&D Capital Support.)

• Medical or Health-Related Research and Development is aimed ultimately at the improvement ofhuman health and conquest of disease. Within this context, medical or health-related research anddevelopment includes Health Care Sciences and Services; Biomedical Engineering andInstrumentation; Clinical Medicine; Biochemistry; Genetics; Physiology; Cell Biology/MolecularBiology; Pharmacology/Toxicology; Epidemiology; Reproduction, Growth and Development;Oncology/Pathology/Hematology; Immunology; Microbiology/Virology; Neuroscience.

Definitions of types of institutions

• a. College or university. An accredited institution of higher learning which offers undergraduateor graduate degrees. Report grants and contracts to university hospitals in Row b.

• b. University-affiliated hospital. A member of the American Hospital Association which operatesas an integral part of an institution of higher education. Hospitals which have been set up byresearch institutes and which, while providing patient care, function primarily as laboratories forthe research institutes should be considered Research Institutes.

• c. Other voluntary nonprofit hospital. A member of the American Hospital Association notsubject to the control of either Federal, state, or local governments, nor an integral part of any

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institution of higher education. Hospitals which have been set up by research institutes and which,while providing patient care, function primarily as laboratories for the research institutes should beconsidered Research Institutes.

• d. Research institute, including medical research organizations. A separately incorporated,independent nonprofit organization operating under the direction of its own controlling body. Itsprimary function is the performance of research and development in the sciences and engineering.

• e. Professional or technical society, or academy of science and/or engineering. A voluntaryassociation of individuals sharing a common interest in the advancement of knowledge, eitherwithin a single field or across a broad spectrum of disciplines. The major function of theseorganizations is to aid and encourage the collection, collation, and dissemination of scientific andengineering knowledge for the benefit of their members and the science and engineeringcommunity as a whole.

• f. Industry. For-profit organizations conducting science and engineering research or development.

• g. Private foundation. A nongovernmental, nonprofit organization having a principal fund of itsown, managed by its own trustees or directors, and established to maintain or to aid activitiesserving the common welfare. This organizational type includes operating foundations, whichallocate the greater proportion of their R&D budgets to intramural performance, and philanthropicfoundations, which allocate most of their funds to grants and contracts for R&D to be performedextramurally. This category also includes non-profit advocacy groups conducting S&E R&D.

• h. Science exhibitor. A nonprofit organization which has as its primary goal the expansion ofscientific and technological literacy within its community by providing exhibits that display andinterpret the latest scientific findings and technological advances within its field or fields. Includedin this category are museums, zoological parks, botanical gardens, and arboreta.

• i. Trade association. A nonprofit, cooperative, voluntarily-joined organization of businesscompetitors designed to assist its members and their industry in dealing with mutual businessproblems in several of the following areas: accounting practice, business ethics, commercial andindustrial research, standardization, statistics, trade promotion, and relations with Government,employees, and the general public.

• j. Nonprofit industrial consortium. A not-for-profit research joint venture conducting science andengineering research and development. For-profit industrial consortia should be included underIndustry.

• k. Nonprofit academic consortium. A not-for-profit research joint venture headed by a college oruniversity conducting science and engineering research and development.

• l. Agricultural cooperative. An organization of individuals or business entities nominallycompetitors, in the production and sale of agricultural products. Its activities may include one ormore of the following areas: collective marketing or purchasing, R&D, public relations, and theimprovement of the economic condition of the farm population of the United States.

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• m. Federally Funded Research and Development Center (FFRDC). Any of the specific organizations(shown below) that were established to meet the particular R&D needs of a Federal agency:

Aerospace Federally Funded Research and Development Center (Aerospace Corp.)Ames Laboratory (Iowa State University of Science and Technology)Argonne National Laboratory (University of Chicago)Arroyo Center (RAND Corp.)Brookhaven National LaboratoryC3I Federally Funded Research & Development Center (MITRE Corp.)Center for Advanced Aviation System Development (MITRE Corp.)Center for Naval Analyses (CNA Corp.)Center for Nuclear Waste Regulatory Analyses (Southwest Research Institute)Critical Technologies Institute (RAND Corp.)Energy Technology Engineering Center (removed from FFRDC list in November 1995)Ernest Orlando Lawrence Berkeley National Laboratory (University of California)Fermi National Accelerator Laboratory (Universities Research Association, Inc.)Idaho National Engineering Laboratory (Lockheed Idaho Technologies Inc.)Inhalation Toxicology Research Institute (removed from FFRDC list in May 1996)Institute for Defense Analyses Studies and Analyses FFRDC (IDA)Institute for Defense Analyses Communications and Computing FFRDC (IDA)Jet Propulsion Laboratory (California Institute of Technology)Lawrence Livermore National Laboratory (University of California)Lincoln Laboratory (Massachusetts Institute of Technology)Logistics Management Institute (LMI)Los Alamos National Laboratories (University of California)National Astronomy and Ionosphere Center (Cornell University)National Center for Atmospheric Research (University Corporation for Atmospheric Research)National Defense Research Institute (RAND Corp.)National Renewable Energy Research Laboratory (Midwest Research InstituteNational Radio Astronomy Observatory (Associated Universities, Inc.)National Optical Astronomy Observatories (Association of Universities for Research in Astronomy, Inc.)NCI Frederick Cancer Research and Development Center (Science Applications International Corp.; Advanced

BioScience Laboratories, Inc.; Charles River Laboratories, Inc.; Data Management Services, Inc.)Oak Ridge Institute for Science and Education (Oak Ridge Associated Universities, Inc.)Oak Ridge National Laboratory (Lockheed Martin Energy Systems, Inc.)Pacific Northwest National Laboratories (Battelle Memorial Institute)Princeton Plasma Physics Laboratory (Princeton University)Project Air Force (RAND Corp.)Sandia National Laboratory (Sandia Corp.)Savannah River Technology Center (Westinghouse Savannah River Co.)Software Engineering Institute (Carnegie Mellon University)Stanford Linear Accelerator Center (Leland Stanford, Jr. University)Tax Systems Modernization Institute (IIT Research Institute)Thomas Jefferson National Accelerator Facility* (Southeastern Universities Research Association) *(In May 1996 the name was changed from Continuous Electron Beam Accelerator Facility.)

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2.

TOTAL AMOUNT OF SCIENCE AND ENGINEERING R&D FUNDED

Please list the amount of science and engineering R&D funding (see instructions for definition of R&D)your organization provided to each type of institution listed below.

FY 1996Month beginning: _______Month ending: _______

FY 1997Month beginning: _______Month ending: _______

Type of institution Total

(1)

Medicalor healthrelated

(2)

Total

(3)

Medicalor healthrelated

(4)a. College or University

b. University-affiliated hospital

c. Other voluntary nonprofit hospital

d. Research institute

e. Professional or technical society, or academy of

science

f. Industry

g. Private foundation

h. Science exhibitor

I. Trade association

j. Nonprofit industrial consortium

k. Academic Consortium

l. Agricultural cooperative

m. Federally Funded Research and Development Center (FFRDC) (see list on p. 6)

n. Organizations outside the United States

o. Other (please specify)

Total amount of S&ER&D funded

$ $ $ $

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Item 2A.Science and Engineering Research andDevelopment Capital Support

Item 2A asks how much of the total science and engineering research and development that your organizationfunded in 1996 and 1997 was provided for R&D capital support.

To complete Item 2A, you should:

¶ Review the definition of capital support below.

· For FY 1996 (Column 1), fill in the portion of the amount listed in Item 2,Total Amount, Column 1, that was for capital support.

¸ Fill in the corresponding amount for FY 1997 (Column 2) from Item 2, Total Amount, Column 3.

Definitions

• S&E R&D Capital Support includes all expenses for buildings, fixtures, and depreciable equipment used inR&D performance. Include only costs which are normally chargeable to fixed asset accounts for whichdepreciation accounts are ordinarily maintained; include major alterations, capitalized repairs andimprovements; and include expenditures made during the year for establishments under construction but not yetin operation. Do not include capital expenditures made by owners of property rented or leased, including theFederal Government. Exclude cost of land and cost of maintenance and repair charged as current operatingexpense. Also exclude cost of government-owned structures or equipment.

2A. Science and Engineering Research and Development Capital Support

FY 1996 FY 1997

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Item 3. Your Organization’s Website

Reports of the survey results will be available via the World Wide Web. Users of the surveymay wish to contact your website directly.

Please write your organization’s website address below.

___________________________________

Item 4. Comments and Feedback

We appreciate the time you have taken to fill out the Survey of 1996 and 1997 Research

and Development Funding and Performance by Nonprofit Organizations.

How many person-hours were required to complete this form? ____________

If you have any comments regarding this study, write them in the space below.

Please return the completed survey by (date) to: National Science FoundationPO Box 5700Lincoln, NE 68505-9926